Counseling and Student Development

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Client Case Files

Arranged By:   Chronological/Alphabetical
Application Number:   89-26
Item Number:   140.01

Purpose

This file series represents the counseling contacts and sessions provided by the Office of Counseling and Student Development for assisting students in coping with the intellectual and emotional rigors stemming from academic endeavors.  The files contain intake forms, case notes, personal data forms, information release forms, Termination of Counseling forms, and career/psychological testing materials (when applicable).  (The seven-year retention period recommended for this series is based on current and past reference rates and the consideration to retain the files long enough for covering any potential litigation retrievals.).

Procedure

Retain in office for seven (7) years following the date of the final entry in case file(s), then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Personnel Files

Arranged By:   Alphabetical
Application Number:   89-26
Item Number:   140.02

Purpose

This record series includes Counseling and Student Development's copies of personnel files covering staff and student worker(s).  File contents include contract copies, resumes, evaluations, client evaluations of counselors, and related correspondence.  Original personnel files are maintained by the Office of the University Provost (for faculty), the Personnel Office and/or the Office of Student Financial Aid.

Procedure

Retain in office for five (5) years after separation from employment and/or last term of enrollment, then dispose of providing all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Search Files for Professional Staff Vacancies

Arranged By:   Alphabetical
Application Number:   89-26
Item Number:   140.03

Purpose

These staff vacancy search files contain resumes, reference letters, copies of the position ad or vacancy posting, letters of application, and academic transcripts.  Central Affirmative Action documentation is maintained by the Office of the Director of Affirmative Action and will be scheduled for appropriate retention periods accordingly.

Procedure

Retain in office for five (5) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Testing Materials for Career and Psychological Counseling

Arranged By:   By exam
Application Number:   89-26
Item Number:   140.04

Purpose

These documents used for testing clients consists of test administration manuals and scoring keys. Documentation of individual test results are placed in the respective client files.

Procedure

Retain in office for five (5) years or until administrative value has expired, whichever is longer, then dispose of providing no litigation is pending or anticipated.

Budget and Fiscal Administration File

Arranged By:   Chronological/Alphabetical
Application Number:   89-26
Item Number:   140.05

Purpose

This file series contains the Office's copies of various vouchers (travel, invoice, etc.), purchase orders, auto usage reports, fund transfer forms, receipts, telecommunications billings and usage logs, and inventory control reports (property control).  Central copies of these documents are maintained by the University's General Accounting Office.

Procedure

Retain in office for three (3) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

General Correspondence and Memoranda

Arranged By:   Chronological
Application Number:   89-26
Item Number:   140.06

Purpose

This series includes routine correspondence and related memoranda of referrals, appointments, and acknowledgements reflecting the day-to-day work of the office.

Procedure

Retain in office for three (3) years, then dispose of provided all audits have been completed under the supervision of the Auditor General, if necessary, and no litigation is pending or anticipated.

Development Program Files

Arranged By:   By program area, then Chronological
Application Number:   89-26
Item Number:   140.07

Purpose

These program files contain narrative descriptions of programs, related handout materials, and research/publication papers on counseling with related working papers, notes, and memoranda used to guide staff in the administration of student counseling programs aimed at such counseling needs as intervention in suspected or actual cases of alcoholism and drug abuse and counseling on study skills.

Procedure

Retain in office for five (5) years or until expiration of all active or immediate administrative reference value, whichever is longer, then with the assistance of the University Archives staff, review the file and transfer any materials possessing sufficient archival value to the custody of the University Archives and dispose of the balance of the file after completion of the review for archival accessioning.

Contact Us

Ethics and Compliance Office
Health Services Building, 2nd floor
815-753-5560
eco@niu.edu